Programme day one

0745	Registration (until 09.00 am)
0900	Welcome address: Ellen Davis, Editor, OPRISK & COMPLIANCE
0910	Keynote presentation: European financial regulation: An opportunity or obstacle for the European financial markets? Ian Morley, CEO, DAWNAY DAY OLYMPIA
0940	Keynote presentation: European financial regulation: Impact on investment banks Katharine Seal, Director, LONDON INVESTMENT BANKING ASSOCIATION
1010	Discussion on recent developments and impact of MiFID policies An holistic approach on MiFID-related issues Impact on and recent developments in European securities law Sabino Fornies-Martinez, DG Internal Market, EUROPEAN COMMISSION
1050	Morning break
1120	Panel Discussion: Borrowing the operational risk officer’s tool-box Evaluating how compliance risk can be treated similarly with operational risk Measuring compliance risk consistent with BASEL II methodology Using operational risk methodologies in a firm’s compliance efforts Cost savings and synergies between compliance and operational risk Moderator: Cathy Hampson, Executive Director, Operational Risk, MORGAN STANLEY Rudi de Koker, Director Capital Allocation & Operational Risk Analytics, CITIGROUP Marc Leipoldt, Head of Operational Risk Methodologies, ABN AMRO Mike Gould, Head of Compliance, RUSSELL INVESTMENT GROUP Aldo Soprano, Group Head of Operational Risk Management, UNICREDITO SPA
1200	Case Studies: Once bitten twice shy: Lessons learnt from recent litigation & compliance cases Navigating the onslaught of new regulations Areas which pose the greatest risk for compliance penalties FSA’s increasing focus on big high-profile cases Tim Kendal, Barrister, 2 BEDFORD ROW
1240	Lunch
	Stream 1 Tackling and preventing financial crime	Stream 2 Building a value-added compliance risk framework
1350	Chairman’s opening address Ross Martyn, Executive Director, Internal Audit, MORGAN STANLEY	Chairman’s opening address Konstantin Andreopoulos, Chief Compliance Officer, EUROPEAN INVESTMENT BANK
1400	Identity theft – understanding the consumer’s perspective Insights into the consumer’s experience What the banks can do to assist the consumers The NCC blueprint for action Lord Larry Whitty, Chairman, NATIONAL CONSUMER COUNCIL	Whistleblowing – getting it right Why should whistleblowing matter Compliance issues in whistleblowing Legislative approaches European concerns in whistleblowing policy implementation Aspects of a good whistleblowing policy Anna Myers, Deputy Director, PUBLIC CONCERN AT WORK
1440	Case study: How a bank implemented their anti-fraud framework and working through the challenges Common pitfalls to look out for Harnessing the co-operation of employees in stamping out weak links within the firm Quantifying the success of the programme Ben Hur, MLRO, NIBC BANK, and Chairman, MLROs.COM	Best practice: Successfully instilling a profitable risk management and compliance culture Key components of a successful group risk and compliance function Importance of being proportionate, risk-based & commercially aware Role of risk in driving the business forward Lessons & some success stories Susan Puddephatt, Director, Group Regulatory Risk & Compliance, ROYAL & SUN ALLIANCE GROUP
1520	Afternoon break
1550	Avoid being unsuspecting conduits of terrorist financing Survey the latest trends Understanding how terrorist cells cloak money transfers Conducting rigorous analysis to make suspicious financing stand out Matthew Cooper, Executive Director, Group Money Laundering Prevention Unit, UBS, and THE WOLFSBERG GROUP	Treating Customers Fairly (TCF) – Executing a compliant complaints handling process How should firms deal with complaints? The consequences of not embedding TCF into the business Darren Allen, Partner, DLA PIPER
1630	Discourse on the latest UK’s Fraud Bill – what has changed and how this affect the banks’ policies on financial crime Providing clear definitions on fraud Simplifying the laws on fraud to enable more effective fraud controls Closing up the loopholes Implications on efforts to fight fraud Stephen Gentle, Partner, KINGSLEY NAPLEY	Applying the principles-based approach to Treating Customers Fairly (TCF) FSA’s increased emphasis on the principles-based approach TCF – what does it mean & developing a TCF strategy Dealing effectively with regulatory issues – how to avoid enforcement action Ian Mason, Partner, BARLOW LYDE & GILBERT
1710	Chairman’s closing address	Chairman’s closing address
1720	Panel discussion: Understanding a firm’s risk appetite and managing its reputational risk exposure Educate top management on risk issues and incorporating them at strategic board level Uniformed understanding of risk issues throughout the company Best way to measure and manage reputational risk Viewing reputational risk as more than just a second order risk Using ERM to address reputational risk The tasks of a compliance officer in a non-regulated entity Moderator: Ellen Davis, Editor, OPRISK & COMPLIANCE Philippa Girling, Director of Operational Risk Management, NOMURA SECURITIES INTERNATIONAL Konstantin Andreopoulos, Chief Compliance Officer, EUROPEAN INVESTMENT BANK Rob Knight, Head of Operational Compliance, BARING ASSET MANAGEMENT
1800	Closing remarks by Ellen Davis, Editor, OPRISK & COMPLIANCE
1810	Networking cocktail reception
1910	End of day one

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What past delegates have said about the event...

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